0001104659-23-028603.txt : 20230303 0001104659-23-028603.hdr.sgml : 20230303 20230303200056 ACCESSION NUMBER: 0001104659-23-028603 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230227 FILED AS OF DATE: 20230303 DATE AS OF CHANGE: 20230303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oliviero James F III CENTRAL INDEX KEY: 0001434718 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38128 FILM NUMBER: 23707078 MAIL ADDRESS: STREET 1: C/O KERYX BIOPHARMACEUTICALS, INC. STREET 2: 750 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Checkpoint Therapeutics, Inc. CENTRAL INDEX KEY: 0001651407 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 472568632 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 95 SAWYER ROAD STREET 2: SUITE 110 CITY: WALTHAM STATE: MA ZIP: 02453 BUSINESS PHONE: 781-652-4500 MAIL ADDRESS: STREET 1: 95 SAWYER ROAD STREET 2: SUITE 110 CITY: WALTHAM STATE: MA ZIP: 02453 4 1 tm238194-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-02-27 0 0001651407 Checkpoint Therapeutics, Inc. CKPT 0001434718 Oliviero James F III 95 SAWYER RD, SUITE 110 WALTHAM MA 02453 1 1 0 0 CEO, President and Director COMMON STOCK 2023-02-27 4 S 0 5548 4.65 D 134573 D COMMON STOCK 2023-02-27 4 A 0 15000 0.00 A 149573 D COMMON STOCK 2023-03-02 4 S 0 5483 5.00 D 144090 D In connection with the vesting of 14,950 shares, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Oliviero's tax withholding obligations. Mr. Oliviero had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. Represents the weighted average price of the shares sold in this transaction. The range of prices for such transaction was $4.65 to $4.6833. The reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. Includes shares of restricted common stock, which vest over various time periods. Represents previously-granted performance-based award that became vested upon achievement of a corporate milestone on February 27, 2023. In connection with the vesting of 15,000 shares, these shares were sold by the Company's restricted stock administrator in order to satisfy Mr. Oliviero's tax withholding obligations. Mr. Oliviero had no discretion with respect to such sale, which was transacted automatically in accordance with the Company's corporate policies regarding the vesting of restricted stock. Represents the weighted average price of the shares sold in this transaction. The range of prices for such transaction was $5.00 to $5.03. The reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. /s/ James F. Oliviero, III 2023-03-03